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Da 5305 Form: What You Should Know

The form answers the following questions: (1) how the individual became employed at the Firm; (2) what kind of employment was the individual employed at the Firm; (3) what was the status of that employment; (4) what did the individual do while employed at the Firm; (5) when did the individual leave the Firm; (6) what is the individual's current status with the Firm; and (7) why did the individual terminate his or her employment. In addition, every organization filing the Form U5 must respond to the question: “Did you discuss or otherwise involve the individual in such a situation?” The Form U5 provides a record of all employment-related matters and includes documentation of all termination events. How to Report The Final Notice of Termination From Your Broker-Dealer or Investment Adviser For The SEC A Form U5 is required in order to terminate your involvement in an organization that has a registered investment company, including a brokerage firm, investment adviser, or issuer registered with the SEC. In order to report a termination, you must submit the Form U5 within 30 days of the event. You need to file the Form U5 even if you have been with an organization for less than a week. An example of a Form U5 may be found on your Broker-Dealer Registration Card or any company's website. The Form U5 is made up of these sections: Item 31 — Individual Notification Rev. Form U5 (04/2000 — Form U5 Form 4500-6 — SEC.gov) . This is the Form U5 that states how the individual received notice of termination. Item 32 — Consent Rev. Form U5 (05/2009 — Form U5 Form 4500-6 — SEC.gov) . This section must be completed for any person, other than one (1) registered investment adviser, who is not otherwise obligated to submit or provide consent for employment termination because the person has executed a waiver of any right or interest in filing an amendment to the filing of the form. Item 33 — Disposition of Information. This section of the Form U5 must also be completed, and it must include the names of all persons who are employees of the organization during the termination.

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